As you get back to business after ringing in the New Year, the SEC may be preparing to give your firm a ring. See what surprising (and not so surprising) areas the examiners plan to focus on in 2013, culled from the SEC’s latest Agency Financial Report. Spoiler alert: Technology risks make the agency’s top 4 list.
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- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
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